Frequently Asked Questions
- What is the Compliance Program?
- Why does Indiana University need a Compliance Program?
- Who is responsible for compliance at Indiana University?
- What are compliance issues?
- How do I know if there is a compliance issue?
- If I think there is a compliance issue, what should I do first?
- What if I don’t have all the facts?
- If I want to report a violation, can I remain anonymous?
The Compliance Program is a University-wide program designed to promote and ensure the University’s commitment to integrity and the highest ethical standards.
As laws and regulations continually change and as the University grows, the Program is designed to proactively meet those needs by providing access to information and training resources to promote awareness and prevent potential legal issues. The specific purpose of the Program is to reduce any risk, therefore maintaining the integrity and positive reputation of Indiana University.
The Chief Compliance Officer coordinates and oversees the Compliance Program for the University. However, there are many compliance related offices throughout the University. It is important to emphasize that every member of the IU Community has an important role to play whether you are a student, faculty, or staff member. The Program encourages every individual to take part in compliance from knowing and following various laws, regulations and policies of the University to reporting any incident you are aware of that could be considered noncompliance. You may contact the Compliance Office by telephone at (317) 274-2667 or by email at firstname.lastname@example.org. Other key compliance contacts can be found at:
- HIPAA: http://protect.iu.edu/compliance/hipaa/contacts
- Office of Research Administration: http://researchadmin.iu.edu/CRCO/crco_contacts.html
- University Human Resources: http://www.indiana.edu/~uhrs/welcome/contact.htm
- Public Safety and Institutional Assurance: https://protect.iu.edu/
Compliance issues relate to situations, activities and transactions that could violate federal, state laws and regulations and/or violate IU’s policies. Examples include violations of regulations associated with research, taxation, fraudulent financial activities, political activity, conflict of interest, sexual harassment, discrimination, information security, health/safety, environmental, fraud, NCAA, financial reporting and controls, etc. This is not meant to be a complete list but rather examples of compliance issues.
It would be difficult to come up with a list of every possible compliance issue, but it is good to ask yourself the following questions. Always feel free to contact the Compliance Office:
- Would I be comfortable if the act or omission was published on the front page of a local or national newspapers/news website?
- Do these actions seem fair and honest?
- Is an approved university policy being followed?
Your first step should be to review your concerns with your supervisor. If you believe that your supervisor/manager is involved, or your previous concerns have gone unanswered then report your concerns to their supervisor/manager. You can also contact the Compliance Office at any time.
Contact a supervisor, member of management and/or the Compliance Office and they can assist with this process. They can review the information with you to determine how best to move forward.
If you want to report a compliance concern and want to remain anonymous you may contact the Anonymous Reporting line at (888) 236-7542 or click here. Indiana University prohibits retaliation against anyone who makes a report in good faith. Please click here to review the IU Whistleblower Policy on EthicsPoint.